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Corporate & Securities Law
: FinancialCounselSEC Reveals Information To Help Financial Services Firms Survive A Compliance Examination
By James Eccleston
In a recent speech entitled, "Frequently-Asked Questions About SEC Examinations", Lori Richards, Director of the SEC's Office of Compliance Inspections and Examinations, shared helpful information for financial services firms. Ms. Richards answered the following questions: will my firm be examined; what issues are SEC examiners focusing on now; what kind of information and documents will examiners request; what are the possible outcomes of an SEC examination; and what can one do to ensure that an examination goes smoothly. Let's examine the more important points of the speech.
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Full post as published by FinancialCounsel on June 25, 2008 (boomark / email).
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